{
  "url": "https://openlegislation.uk/occupational-pension-schemes-scheme-administration-regulations-1996/regulation-37",
  "json_url": "https://openlegislation.uk/occupational-pension-schemes-scheme-administration-regulations-1996/regulation-37.json",
  "legislation": "uksi/1996/1715",
  "legislation_title": "The Occupational Pension Schemes (Scheme Administration) Regulations 1996",
  "legislation_url": "https://openlegislation.uk/occupational-pension-schemes-scheme-administration-regulations-1996",
  "path": "regulation/37",
  "kind": "regulation",
  "number": "37",
  "heading": "Compliance notice",
  "text": "(1) The Regulator may issue a compliance notice to a person with a view to ensuring that person’s compliance with a listed provision.\n(2) The Regulator may issue a notice under paragraph (1) if it is of the opinion that the person is not complying, or has not complied, with that provision.\n(3) For the purposes of this Chapter, the listed provisions are the following provisions of this Part—\n(a) regulation 35(1) or (3);\n(b) regulation 36;\n(c) paragraph 7(1) of the Schedule;\n(d) paragraph 8(1) of the Schedule;\n(e) paragraph 9(3) of the Schedule;\n(f) paragraph 10(1) or (2) of the Schedule.\n(4) A compliance notice must—\n(a) state the listed provision which the Regulator is of the opinion was not, or is not being, complied with,\n(b) state the evidence on which that opinion is based, and\n(c) specify the steps that the Regulator requires the person to whom it is issued to take to remedy the non-compliance with that provision and, where appropriate, ensure that it is not repeated.\n(5) A step specified for the purposes of paragraph (4)(c) may be expressed to be conditional on compliance by a third party with a specified direction contained in a third party compliance notice under regulation 38.\n(6) A compliance notice may also—\n(a) specify the period within which any step must be taken;\n(b) require the person to whom it is issued to provide the Regulator within a specified period specified information relating to the non-compliance;\n(c) require the person to whom it is issued to inform the Regulator, within a specified period, of how they have complied with or are complying with the notice;\n(d) state that, if the Regulator is of the opinion that the person to whom it is issued has failed to comply with the notice, the Regulator may issue a penalty notice to them under regulation 39;\n(e) give the person to whom it is issued a choice between different ways of remedying, or preventing the recurrence of, the non-compliance.\n(7) In this regulation “specified” means specified in a compliance notice.",
  "extent": null,
  "status": null,
  "version": "current",
  "annotations": [
    {
      "type": "F",
      "label": "F1",
      "text": "Pt. 6 inserted (1.10.2022) by The Occupational Pension Schemes (Governance and Registration) (Amendment) Regulations 2022 (S.I. 2022/825), regs. 1(2), 2(2)"
    }
  ],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/uksi/1996/1715/regulation/37",
    "retrieved_at": "2026-10-29T12:39:59.158820+00:00"
  },
  "licence": "Open Government Licence v3.0",
  "licence_url": "https://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/",
  "attribution": "Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives."
}